Edith P. Amato
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Edith Porter Amato, who also goes by Edith E Porter, Edith Elizabeth Porter, Edith Porter, was a registered financial professional .
Edith is a previously registered financial professional and started their career in finance in 1989. Edith had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2016 - February 25, 2020
UBS FINANCIAL SERVICES INC.
July 6, 2016 - February 25, 2020
UBS FINANCIAL SERVICES INC.
June 1, 2009 - July 15, 2016
MORGAN STANLEY
June 1, 2009 - July 15, 2016
MORGAN STANLEY
January 30, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
August 14, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 13, 2001 - August 6, 2002
DEUTSCHE BANK SECURITIES INC.
November 3, 2000 - January 13, 2001
DB ALEX. BROWN LLC
December 18, 1998 - October 4, 2000
MORGAN STANLEY DW INC.
September 23, 1994 - January 7, 1999
PRUDENTIAL EQUITY GROUP, LLC
March 14, 1991 - September 19, 1994
LEHMAN BROTHERS INC.
February 8, 1989 - March 9, 1990
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
